Individual Firm
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CINDY SHU-YIN CHEN
CRD#: 4179944
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 15315 CULVER DRIVE
SUITE # 187
IRVINE, CA 92604
SUITE # 187
IRVINE, CA 92604
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Alaska 1/3/2014
B
New Jersey 11/19/2019
IA
Alaska 1/3/2014
B
New York 2/19/2015
B
Arizona 9/9/2022
B
Ohio 6/9/2015
IA
Arizona 9/20/2022
B
Pennsylvania 9/13/2023
B
California 7/14/2010
IA
Pennsylvania 9/14/2023
IA
California 7/14/2010
B
Texas 7/28/2010
B
Hawaii 6/29/2018
IA
Texas 7/28/2010
IA
Hawaii 6/29/2018
B
Utah 3/20/2012
B
Indiana 10/10/2024
IA
Utah 3/21/2012
IA
Indiana 10/10/2024
B
Virginia 7/28/2011
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Maryland 7/3/2013
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Washington 11/16/2018
B
Massachusetts 3/9/2011
IA
Washington 1/7/2019
B
Nevada 7/28/2010
B
Wyoming 7/7/2022
IA
Nevada 8/6/2010
SRO Registrations
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IA
Registered with this firm since 7/14/2010
B
Registered with this firm since 7/14/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/03/2003 - 07/06/2010 | PASADENA, CA | |
B | 12/19/2000 - 07/06/2010 | PASADENA, CA | |
B | 09/07/2000 - 12/13/2000 | PASADENA, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.